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The jobholder is positioned in one of FCTM's five global functions aimed at mitigating the harms associated with financial crime: Investigation. In this role as the Investigator, Major Cases, the jobholder:
Operates within FCTM investigative programs related to fraud, anti-money laundering, countering the financing of terrorism, sanctions, anti-bribery and corruption. Ensures the quality and consistency of the investigations and the adequacy of the resourcing across the investigative program.
Undertakes Investigations within a programmatic capability to conduct complex and major, proactive, intelligence-driven investigations, with a specific emphasis on potential or actual sanctions related concerns bringing together and drawing upon resources in other investigative functions where the nature of the investigation spans multiple geographies or financial crime types.
Communicates information on the most significant and sensitive investigations and related mitigating actions to support and facilitate a strategic appraisal of the relevant risks. Able to develop strategic capability to mitigate future threats in response to these significant investigations.
Identifies and escalates the most significant and sensitive investigations to ensure appropriate prioritization, resourcing, and investigative strategy. Communicates to all key stakeholders the ongoing status of such investigations and the related mitigating actions.
Operates within a systemic capability to refer investigative findings and recommendations to other parts of the firm for follow-on action to mitigate the identified financial crime risk, track the response, and ensure appropriate governance.
Personally provides the subject matter expertise necessary to inform the work of other parts of FCTM, including but not limited to innovations in analytics, identification of typologies, policies and procedures, the engagement strategy, training, and a potentially more effective and efficient regulatory landscape.
Supports the Country Head of FCTM and Regional Head of Investigations in communicating the most significant and sensitive investigations and related mitigating actions to senior management to support and facilitate a strategic appraisal of the relevant risks.
Interacts effectively with country law enforcement, security and regulatory agencies, and financial intelligence units, in furtherance of public-private partnership, information sharing, and training initiatives, as well as on specific investigations of significance. Fosters good relationships with all of the Group's counterparts in law enforcement, security and regulatory agencies, and financial intelligence units, across the entire region.
Establishes seamless, trusting and mutually supportive relationships with the other components of FCTM, FCC and GIIG.
Principal Accountabilities: Key activities and decision making areas
To work in a team of Investigation specialists to identify and investigate financial crime threats to the firm.
To support strategies and initiatives among reporting teams in support of FCTM objectives and ensure for the effective execution of Investigations within FCTM.
To support execution of the regional investigative procedures or approved country variances, which are designed to ensure the operational effectiveness of the investigative capability.
To ensure effective information sharing across FCTM and with other parts of the organization.
To ensure investigative findings are effectively communicated to other parts of the organization for follow-on mitigation action, and results recorded.
To escalate significant financial crime threats and management issues to senior leadership so appropriate action can be undertaken in response.
To undertake production and issue Management Information to senior leadership.
Proactively identify key emerging financial crime threats within the jobholder's functional area and interface with other global functional areas.
Timely identification, escalation and recovery of losses affiliated with financial crime
Timely completion of Investigation within a high standard.
Timely production of high quality MI.
Maintain a holistic oversight of the response to financial crime threats across lines of business and countries in region.
Customers / Stakeholders
Maintains relationships with key internal stakeholders across Global functions, lines of business, regions, and countries.
Helps foster external relationships with key public sector partners and peers.
Contributes to the firm's participation in initiatives with key members of Group, public sector and peers to share information on financial crime threats at a regional level.
Manages the sharing of information and creation of feedback loops across the firm to continuously adapt and improve our financial crime controls and support the business in their first line responsibilities.
Works within the capability necessary to manage the Investigation response to high priority financial crime threats requiring a coordinated response across Regional FCTM functions, lines of business or countries.
Adheres to the objectives of the Group Strategy for Financial Crime Threat Mitigation.
Operational Effectiveness & Control
Contribute to the framework, policies, procedures, and controls for the effective identification and mitigation of the specific financial crime threats the firm faces.
Adhere to the FCTM-related elements of the Financial Crime Risk FIMs.
Monitor and assess the resourcing, costs, and spend of the function.
FCTM Investigation plans in place across the function.
Agree schedule of reviews for evidence of FIM adherence.
A process for the early reporting/escalation of FCTM-Investigation related issues and risks is in place.